| 11-00045 | 10/25/2011 | Claimant(s): Michael Mohan
Claimant Lawyers(s): Joseph P. Webber
Respondent(s): Citigroup Global Markets., Morgan Stanley, Robert Marwill, Steven Mechlowicz
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): James E. Schlottmann, Jerry C. Prestridge, Bertrand C. Moser
Hearing Site: Houston, TX
|  | $674,755 |
| 09-06066 | 10/21/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): James J. McNamara
Respondent(s): Christopher St. Laurent
Respondent Lawyers(s): Leonard J. Meyer
Arbitrator(s): Mark A. Myers, Jeff Kilgore, Carlton A. Butler
Hearing Site: Houston, TX
| | |
| 11-02056 | 10/07/2011 | Claimant(s): Robert Bickham
Claimant Lawyers(s): Meredith A. Cunningham
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Daniel Rosenbaum
Arbitrator(s): David G. Beerbower
Hearing Site: Houston, TX
| | |
| 10-04203 | 10/06/2011 | Claimant(s): Judy Phinizy
Claimant Lawyers(s): Lewis Harley
Respondent(s): Moody Securities, Llc
Respondent Lawyers(s): J. Randle Henderson
Arbitrator(s): Bertrand C. Moser, Jeff Kilgore, David D. McNally
Hearing Site: Houston, TX
| | |
| 10-04938 | 10/05/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Christopher S. Griesmeyer
Respondent(s): Aaron Hansz
Respondent Lawyers(s): Thomas A. Adams
Arbitrator(s): Mark C. Watler
Hearing Site: Houston, TX
| | |
| 11-02114 | 10/03/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Nick Kerrigan
Respondent Lawyers(s): Nick John Kerrigan
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX
| | |
| 09-06910 | 09/22/2011 | Claimant(s): Santanna Natural Gas Corporation
Claimant Lawyers(s): Benjamin H. Hathaway
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Scott Branson
Respondent Lawyers(s): Michael A. Rodriguez
Arbitrator(s): David G. Beerbower, William Edward Buck, Selenne Calhamer
Hearing Site: Houston, TX
| | Expungement |
| 11-01274 | 09/19/2011 | Claimant(s): Renato Virata
Claimant Lawyers(s): Renato Garcia Virata
Respondent(s): Invesco Distributors.
Respondent Lawyers(s): Wes R. McCart
Arbitrator(s): David C. Redford
Hearing Site: Houston, TX
| | |
| 11-00700 | 09/13/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Donald R. Littlefield
Respondent(s): Kamran Nezami
Respondent Lawyers(s): Aaron G. Ries
Arbitrator(s): Mark A. Myers
Hearing Site: Houston, TX
| | |
| 10-00781 | 09/13/2011 | Claimant(s): Alice Youngblood
Claimant Lawyers(s): Scott Ellis
Respondent(s): Patrick Hynes, Fidelity Brokerage Services LLC
Respondent Lawyers(s): Paul M. Tyrrell
Arbitrator(s): Jonathan Burke Rada, Michael S. Wilk, Michael L. Landrum
Hearing Site: Houston, TX
| | Expungement |
